• Fulfill all SEC and stock exchange transfer document turnaround requirements

• Receive and control surrendered certificates for transfer

• Receive and control stock power and letters of instruction for book transfers

• Examine and validate certificates and attendant documents for authenticity, legal ownership, endorsements and signature guarantees

• Return certificates and transfer documents not in "good delivery", and attempt to remedy incomplete transfer items through written transfer requirement instructions

• Execute routine or legal (non-routine) transfers with supporting documentation

• Administer "stop" orders against surrendered certificates; carry out "stop and release" actions for lost, stolen, restricted, and/or destroyed certificates

• Maintain an inventory of unissued and surrendered certificates and accounting of certificate usage and certificate numbers

• Perform written and verbal correspondence for research items

• Perform to Depository Trust Company (DTC) transfer activity standards

• Process transfer activity in secured environment

• Satisfy SEC and stock exchange rules and regulations

Registrar Services

• Issue original certificates in proper form of registration and properly authorized

• Control and ensure that the number of shares issued matches the number of shares canceled through a debit-credit validation system

Record Keeping Services

• Record transfers, legal registrations, addresses, certificate numbers, shares, and tax identifications in compliance with the SEC and IRS

• Maintain daily transfer journals (logs) in compliance with SEC record keeping rules

• Archive all canceled certificates and transfer documents

• Maintain all inactive accounts for inquiry and research

• Provide for methods of accessing accounts through multiple registration identifiers

• Maintain current accounts for social security number, multiple addresses, return mail flags, transfer and dividend reinvestment histories

• Provide for account memo logging and an audit trail of data changes

• Supply shareholder listings on demand

Conversions/Exchanges/Consolidations

• Exchange from one security to another

• Stock splits and reversals

• Warrants